Matthew B. Lindley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Braden Lindley, who also goes by Matthew Lindley, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1998. Matthew had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2011 - January 31, 2012
TD AMERITRADE, INC.
March 10, 2011 - January 31, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 10, 2011 - January 31, 2012
TD AMERITRADE, INC.
August 12, 2009 - March 7, 2011
MML INVESTORS SERVICES, LLC
July 27, 2009 - March 7, 2011
MML INVESTORS SERVICES, LLC
March 14, 2006 - July 20, 2009
PRINCIPAL SECURITIES, INC.
March 13, 2006 - July 20, 2009
PRINCIPAL SECURITIES, INC.
August 9, 2004 - March 3, 2006
KESTRA INVESTMENT SERVICES, LLC
January 30, 2002 - March 3, 2006
KESTRA INVESTMENT SERVICES, LLC
November 20, 2001 - January 29, 2002
FIFTH THIRD SECURITIES, INC.
February 5, 2001 - July 5, 2001
CHARLES SCHWAB & CO., INC.
December 16, 1998 - February 8, 1999
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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